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Thomas J. Wahl
CETERA INVESTMENT ADVISERS
CHEEKTOWAGA, NY 14225
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CRD#: 7774809
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Thomas John WahlCETERA INVESTMENT ADVISERS
Professional summary
Thomas John Wahl, who also goes by Tj Wahl, Thomas J Wahl, Thomas John Wahl III, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cheektowaga, New York and CETERA WEALTH SERVICES, LLC located in Cheektowaga, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Thomas has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Tj Wahl | Thomas J Wahl | Thomas John Wahl Iii
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Lifetime Wealth Management Group, Inc; Financial Assistant; Lifetime Wealth Managment Group offers financial advising and planning services to a wide variety of individuals. One of the more popular services we offer is a retirement map that shows how much money individuals can pull out of their retirement account(s) until that money is completely burned up or hits a specified amount they wish to leave to their inheritors.�; Yes; 160; 130; 09/01/2024; 2562 Walden Ave Cheektowaga NY 14225; I reach out to clients to schedule their next meeting as well as send them a meeting summary letter. I help prepare the paperwork for each meeting by highlighting and tabbing where the client must sign and date. I file this paperwork in our crm filing system. I act as an assistant to Robert Ervolina. My job consists of helping with whatever simple task is given to me. I get to see how Robert speaks and acts towards a client in their best interest daily. 2. NAME OF OTHER BUSINESS: LIFETIME WEALTH MANAGEMENT GROUP, AN AFFILIATE OF LUMSDEN MCCORMICK; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Wahl's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 17, 2026 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2562 Walden Ave Suite 101, Cheektowaga, NY 14225RIA
CRD#: 105644
CHEEKTOWAGA, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2562 Walden Ave Suite 101, Cheektowaga, NY 14225BD
CRD#: 13572
Cheektowaga, NY
Past
April 26, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Cheektowaga, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
New York(1/17/2026)
RR
New York(1/29/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/26/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Loading...
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cheektowaga, NY 14225TRUST BUT VERIFY
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